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Stephen Braviner Roman, diary engagements, July - September 2023 [pdf]
Stephen Braviner Roman, diary engagements, September - July 2023 -
Information on asset management firms applications - November 2023
FCA provides information on asset management firms applications. -
Testing how Authorised Fund Managers are embedding the Guiding Principles in ESG and sustainable investment funds
We set out findings from our supervisory work that looked at how authorised fund managers (AFMs) comply with existing regulatory requirements and expectations on the design, delivery and disclosure of Environmental, Social and Governance (ESG) and -
Final Notice 2023: Ray Alan Davis [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the General Insurance and Protection sector. We imposed a prohibition. -
First Supervisory Notice 2023: KBFS Financial Limited [pdf]
We have imposed a number of restrictions on KBFS Financial Limited preventing it from carrying on any regulated activities and restricting access to its assets. -
Authorisations operating service metrics 2023/24 Q2 [pdf]
This 2023/24 Q2 update covers the FCA's progress on service standards for authorisations case work. -
FCA Authorisations operating service metrics 2023/24 Q2
The FCA reports on its authorisations metrics quarterly, to provide greater transparency of its performance. This data covers July to September 2023. -
Notice of Decision 2023: ADS Essex Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
PSD Add Agent Form [docx]
This form is for Payment Institutions to notify the FCA of a new UK agent -
Notice of Decision 2023: Ivan John Barker (trading as Goodwin Park) [pdf]
This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation.